FA News

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Finra Chairman Calls For State Laws To Help Advisors Stop Elder Fraud

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Rick Ketchum, the Financial Industry Regulatory Authority, chairman, wants states to allow advisors to delay transactions by elderly clients they suspect are scam victims.

Home Ownership Seen As Good Investment By Same Sex Couples

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Housing discrimination still erodes confidence in the LGBT community, a new survey says.

Many People's Rainy Day Funds Might Not Weather Emergencies, Study Says

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More Americans are acknowledging the need to have a rainy day fund, but say they lack adequate savings to weather a financial emergency, according to a study.

Former Compliance Officer Allegedly Bilked Investors Of Over $800,000

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William Quigley, who worked as an anti-money-laundering officer and the chief compliance officer at Trident Partners Ltd., was charged with wire fraud and money laundering.

Ex-Lehman CEO Fuld Says 27,000 Employees Were Risk Managers

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Lehman Brothers Holdings Inc. had 27,000 risk managers -- the firm’s stockholding employees -- before it collapsed in 2008, former Chief Executive Officer Richard Fuld said.

SEC Exec: Sales Of Pre-IPO Shares Can Spell Trouble

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A major problem with alternative investments is that there is a knowledge gap between the people developing them and the people selling them, says SEC exec.

Emerging Market Capital Flows To Hit Lowest Level Since 2009, Says Institute

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Capital flows to emerging economies are projected to fall to $981 billion this year, their lowest level since 2009, says the Institute of International Finance.

U.S. Company Pensions Less Solvent In 2014: UBS

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U.S. corporate pension funds turned less solvent in 2014, approaching risky levels based on regulations, as their liabilities ballooned by more than $180 billion, UBS says.

U.S. Consumers Need To Do More, MFS Economist Says

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Consumers are the main reason U.S. economic growth has been stuck at 2 percent, said MFS economist Erik Weisman.

World's Workers Put Off Retirement Planning

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Retirement savings shortfalls challenge workers, employers, and governments from Canada to China, according to a new survey.

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